0000950123-18-008682.txt : 20180814 0000950123-18-008682.hdr.sgml : 20180814 20180814110210 ACCESSION NUMBER: 0000950123-18-008682 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180814 DATE AS OF CHANGE: 20180814 EFFECTIVENESS DATE: 20180814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 IRS NUMBER: 411957584 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10715 FILM NUMBER: 181015240 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001257391 XXXXXXXX 06-30-2018 06-30-2018 Whitebox Advisors LLC

3033 Excelsior Blvd. Suite 300 Minneapolis MN 55416

13F HOLDINGS REPORT 028-10715 N Robert Riepe 612-253-6001 /S/ Robert Riepe Minneapolis MN 08-14-2018 0 99 3097309 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AEGERION PHARMACEUTICALS INC NOTE 2.000% 8/1 00767EAB8 6165 9500000 PRN SOLE 9500000 0 0 AES CORP COM 00130H105 710 52934 SH SOLE 52934 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 23620 12461000 PRN SOLE 12461000 0 0 ALTABA INC COM 021346101 706871 9655384 SH SOLE 9655384 0 0 AMBAC FINL GROUP INC COM NEW 023139884 12524 630936 SH SOLE 630936 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 3581 230157 SH SOLE 230157 0 0 AMKOR TECHNOLOGY INC COM 031652100 846 98468 SH SOLE 98468 0 0 AMYRIS INC NOTE 9.500% 4/1 03236MAG6 7109 7136000 PRN SOLE 7136000 0 0 APACHE CORP COM 037411105 424 9066 SH SOLE 9066 0 0 ARBOR RLTY TR INC COM 038923108 8274 793294 SH SOLE 793294 0 0 ARROW ELECTRS INC COM 042735100 290 3854 SH SOLE 3854 0 0 AT&T INC COM 00206R102 26744 832901 SH SOLE 832901 0 0 AT&T INC PUT 00206R952 21077 656400 SH Put SOLE 656400 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 17234 13000000 PRN SOLE 13000000 0 0 AVAYA HLDGS CORP COM 05351X101 24034 1196914 SH SOLE 1196914 0 0 AVIS BUDGET GROUP COM 053774105 2342 72059 SH SOLE 72059 0 0 BARRICK GOLD CORP COM 067901108 139 10601 SH SOLE 10601 0 0 BASIC ENERGY SVCS INC NEW COM NEW 06985P209 12938 1164508 SH SOLE 1164508 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 1702 115385 SH SOLE 115385 0 0 BLACKSTONE MTG TR INC NOTE 4.750% 3/1 09257WAC4 5330 5500000 PRN SOLE 5500000 0 0 BLACKSTONE MTG TR INC NOTE 5.250%12/0 09257WAA8 20902 18300000 PRN SOLE 18300000 0 0 BONANZA CREEK ENERGY INC COM NEW 097793400 17318 457300 SH SOLE 457300 0 0 BUNGE LIMITED COM G16962105 20110 288479 SH SOLE 288479 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 26970 1142816 SH SOLE 1142816 0 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 39086 22986560 PRN SOLE 22986560 0 0 CAMPBELL SOUP CO COM 134429109 432 10648 SH SOLE 10648 0 0 CHIMERA INVT CORP COM NEW 16934Q208 2106 115192 SH SOLE 115192 0 0 CIGNA CORPORATION COM 125509109 10095 59400 SH SOLE 59400 0 0 CONSTELLIUM NV CL A N22035104 758 73552 SH SOLE 73552 0 0 CORENERGY INFRASTRUCTURE TR NOTE 7.000% 6/1 21870UAA4 26506 22932000 PRN SOLE 22932000 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 5495 4500000 PRN SOLE 4500000 0 0 CYS INVTS INC COM 12673A108 1569 209150 SH SOLE 209150 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 71374 843867 SH SOLE 843867 0 0 DEVON ENERGY CORP NEW COM 25179M103 312 7107 SH SOLE 7107 0 0 DITECH HLDG CORP COM 25501G105 196 37514 SH SOLE 37514 0 0 DOMTAR CORP COM NEW 257559203 453 9496 SH SOLE 9496 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 16231 16173000 PRN SOLE 16173000 0 0 ENCORE CAP GROUP INC NOTE 3.250% 3/1 292554AK8 19207 18970000 PRN SOLE 18970000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 2316 30000 SH SOLE 30000 0 0 GGP INC COM 36174X101 15541 760707 SH SOLE 760707 0 0 GOGO INC COM 38046C109 2219 456575 SH SOLE 456575 0 0 GOPRO INC CL A 38268T103 332 51500 SH SOLE 51500 0 0 GOPRO INC NOTE 3.500% 4/1 38268IAA5 10638 11500000 PRN SOLE 11500000 0 0 GRIFOLS S A SP ADR REP B NVT 398438408 9077 422201 SH SOLE 422201 0 0 GSV CAP CORP NOTE 5.250% 9/1 36191JAB7 8338 8245000 PRN SOLE 8245000 0 0 HARMONIC INC NOTE 4.000%12/0 413160AB8 8262 7950000 PRN SOLE 7950000 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 39448 30500000 PRN SOLE 30500000 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 785 51153 SH SOLE 51153 0 0 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 5865 6900000 PRN SOLE 6900000 0 0 INGEVITY CORP COM 45688C107 210 2592 SH SOLE 2592 0 0 KAR AUCTION SVCS INC COM 48238T109 10083 184000 SH SOLE 184000 0 0 KROGER CO COM 501044101 385 13520 SH SOLE 13520 0 0 MBIA INC COM 55262C100 746 82515 SH SOLE 82515 0 0 MDC PARTNERS INC CL A SUB VTG 552697104 69 15000 SH SOLE 15000 0 0 MERITOR INC COM 59001K100 821 39890 SH SOLE 39890 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 22901 13125000 PRN SOLE 13125000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 1536 239560 SH SOLE 239560 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 6808 389278 SH SOLE 389278 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 7476 7558000 PRN SOLE 7558000 0 0 NEWELL BRANDS INC COM 651229106 642 24895 SH SOLE 24895 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 8016 2544668 SH SOLE 2544668 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 12821 22049000 PRN SOLE 22049000 0 0 NRG ENERGY INC COM NEW 629377508 1565 50992 SH SOLE 50992 0 0 NXP SEMICONDUCTORS N V COM N6596X109 58433 534759 SH SOLE 534759 0 0 NXP SEMICONDUCTORS N V PUT N6596X959 57968 530500 SH Put SOLE 530500 0 0 OLIN CORP COM PAR $1 680665205 372 12938 SH SOLE 12938 0 0 PAR PACIFIC HOLDINGS INC COM NEW 69888T207 67923 3908094 SH SOLE 3908094 0 0 PARKER DRILLING CO COM 701081101 2494 6562037 SH SOLE 6562037 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 20365 22181000 PRN SOLE 22181000 0 0 PG&E CORP COM 69331C108 851 20000 SH SOLE 20000 0 0 REDWOOD TR INC NOTE 5.625% 7/1 758075AD7 10883 11000000 PRN SOLE 11000000 0 0 RENEWABLE ENERGY GROUP INC NOTE 4.000% 6/1 75972AAC7 37747 21200000 PRN SOLE 21200000 0 0 REPLIGEN CORP NOTE 2.125% 6/0 759916AA7 7714 5000000 PRN SOLE 5000000 0 0 RH PUT 74967X953 13621 97500 SH Put SOLE 97500 0 0 RYDER SYS INC COM 783549108 591 8224 SH SOLE 8224 0 0 SAEXPLORATION HLDGS INC COM NEW 78636X204 4201 2609039 SH SOLE 2609039 0 0 SANOFI RIGHT 12/31/2020 80105N113 3478 6956279 SH SOLE 6956279 0 0 SHIRE PLC SPONSORED ADR 82481R106 3157 18700 SH SOLE 18700 0 0 SINA CORP ORD G81477104 32580 384698 SH SOLE 384698 0 0 SOLARCITY CORP NOTE 2.750%11/0 83416TAA8 17820 18000000 PRN SOLE 18000000 0 0 SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 5974 109000 SH SOLE 109000 0 0 SPDR S&P 500 ETF TR CALL 78462F903 67820 250000 SH Call SOLE 250000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 1022726 3770000 SH Put SOLE 3770000 0 0 SUPERVALU INC COM 868536301 432 21048 SH SOLE 21048 0 0 T MOBILE US INC COM 872590104 1482 24797 SH SOLE 24797 0 0 TARGET CORP COM 87612E106 208 2735 SH SOLE 2735 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 3985 118695 SH SOLE 118695 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 18667 14024000 PRN SOLE 14024000 0 0 TESLA INC NOTE 0.250% 3/0 88160RAB7 28101 25500000 PRN SOLE 25500000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 134067 119500000 PRN SOLE 119500000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 74151 61343000 PRN SOLE 61343000 0 0 TESLA INC PUT 88160R951 18862 55000 SH Put SOLE 55000 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 5333 5500000 PRN SOLE 5500000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 7276 276985 SH SOLE 276985 0 0 VIACOM INC NEW CL B 92553P201 500 16573 SH SOLE 16573 0 0 WESTERN DIGITAL CORP COM 958102105 1308 16900 SH SOLE 16900 0 0 WESTROCK CO COM 96145D105 887 15564 SH SOLE 15564 0 0 WIX COM LTD SHS M98068105 211 2100 SH SOLE 2100 0 0 YAHOO INC NOTE 12/0 984332AF3 27147 19903000 PRN SOLE 19903000 0 0